DFX Intelligence

M•••••• R••••• T•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

M•••••• R••••• T•••••

Advisor at E•••••• A••••••• G••••• L••

GREENWOOD VILLAGE, CO | CONGERS, NY

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: E•••••• A••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• A••••••• G••••• L••	Bd affiliated wealth	Nov 22, 2023	n/a	yes	CONGERS, NY\|GREENWOOD VILLAGE, CO	Current employment
A•• I••••••••• S•••••••• I•••	Asset manager	Sep 17, 2010	May 18, 2016	no	SHELTON, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•• I••••••••• S•••••••• I•••	E•••••• A••••••• G••••• L••	May 18, 2016	Nov 22, 2023	2,744	Firm change after gap	Other
C•••• I••••••••• S••••••• C••••	A•• I••••••••• S•••••••• I•••	Sep 9, 2010	Sep 17, 2010

Relationships

Registered with (4)

→ E•••••• A••••••• G••••• L••Registered adviserregistration: current employment
Nov 22, 2023 to presentfactForm ADV
→ A•• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 17, 2010 to May 18, 2016factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Nov 20, 2009 to Sep 9, 2010factForm ADV
→ A•••••• G••••• I•••••••• M•••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 24, 2003
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.